Are you a business? Hire compliance officer candidates in Richmond Hill, NY
The Advisory Compliance team serves as a regulatory advisory function and is responsible for overseeing the management of the broker dealer's compliance risk, and is represented by the Chief Compliance Officer as either a member or observer of various committees such as the New Product, Underwrit...
The Compliance and Privacy Officer, reporting to the Chief Human Resources Officer, will have primary responsibility for the compliance and privacy programs at God's Love We Deliver. The Compliance and Privacy Officer will review, revise and maintain the organization's compliance and privacy poli...
Fortress seeks an experienced Compliance Officer to join the Fortress Legal and Compliance Department and will report directly to the firm’s Chief Compliance Officer. The successful candidate will work with members of the Legal and Compliance Department and other departments and businesses around...
Serves as a senior function/business/product compliance risk officer for Independent Compliance Risk Management (ICRM) responsible for establishing internal strategies, policies, procedures, processes, and programs to prevent violations of law, rule, or regulation and design and delivery of a ris...
This role will act as Homesteaders Life Company’s AML officer and the head of the SIU, as well as the Chief Privacy Officer. As Chief Compliance Officer and Assistant General Counsel you will analyze the manner in which applicable laws and regulations will be incorporated into Homesteaders Life C...
Our fast-paced Compliance team is looking for a Compliance Monitoring Officer with experience in performing compliance and risk quality assurance monitoring procedures in the payments and/or finance industry. Collaborate with the compliance team on the further development of the compliance progra...
Sorry, Visa / sponsorship not available.The Business Analyst will work to contribute and support initiatives and projects; develop and present analytic operational reports; and create modify, and/or simplify operational processes and procedures.Aktivo provides a comprehensive total rewards packag...
Patrol Officer / Safety Officer] - FT & PT Shifts Available / Competitive Compensation With Top-tier Training / Personalized Work Hours - Good Guard Security is hiring Courtesy Vehicle Patrol Guards to play a crucial role in maintaining a secure environment for our clients by actively patrolling ...
As a Courtesy Vehicle Patrol Guard you will: Assist individuals by escorting them to their cars, offering directions and valuable information, and issuing traffic warnings when necessary; Effectively communicate with individuals, colleagues, and authorities to relay important information and coor...
Regulatory Compliance Analyst is a professional responsible for processing and ensuring to complete the regulatory compliance requirements for GTFD related transactions. Supporting the Transaction Management team to build the database for compliance related assessment record. Working closely with...
JOB SUMMARY Responsible for soliciting, negotiating, underwriting and coordinating the closing of mortgage loans in compliance with the Bank's lending policies and procedures; Develops business ...
Manage annual audits of retirement plans and preparation of Forms 5500, 945 and other filings in collaboration with CFO, other HR specialists and Plan auditors * Ensure compliance with federal, state ...
Research Compliance Officer Location: New York, NY Firm Overview: Cantor Fitzgerald L.P., with over 12,000 employees, has been a leading global financial services firm at the forefront of financial ...
Compliance Officer Location : New York City (Hybrid) Overview : A boutique investment management firm is seeking a Compliance Officer to join their team in NYC. This role offers the unique ...
A global bank located in Midtown Manhattan looking to bring on board a "Director - Fixed Income Compliance Officer" to join their team. This role is currently in a hybrid schedule (2 days in office
We are seeking a highly skilled and experienced Investment Banking Compliance and Supervision Officer to join our team. This role requires 3-5 years of experience in investment banking, with a focus ...
Review and validation of High Risk KYC files to ensure completeness and compliance with Bank policies and Regulatory Requirements. * Review and issue regulatory guidance to Bank staff on proposed ...
Collaborate with senior legal and compliance officers to update and refine internal compliance policies and procedures related to fund allocations and investment processes. * Risk Assessment
Collaborate with the Chief Compliance Officer. Qualifications * 6-12 years of relevant compliance or regulatory experience at a midsize or large financial services or investment firm. * Managerial ...
The COO will be responsible for overseeing the day-to-day operations, ensuring efficiency, compliance, and a commitment to client success. The ideal candidate will have a strong background in ...
The COO will be involved in all phases of administration, personnel, finances, facilities ... Train staff on policies and procedures, linking compliance with the same to Key Performance ...
Support Chief Compliance Officers in liaising with regulatory authorities, responding to inquiries and coordinating regulatory examinations * Help maintain and implement the firm's adviser, fund, AML ...
